VP – Internal Audit Compliance
A world class financial services company in NYC seeks a VP of Internal Audit Compliance - AML. The candidate will be a senior member of the Global Compliance Internal Audit Team based in New York, New York. The individual will assist in coordinating audit coverage of the Legal and Compliance Divisions and should be familiar with banking, securities, and/or anti-money laundering regulations.
The selected candidate should have experience in the field of audit, compliance, and/or risk management in the financial services industry. This individual should be self-motivated, able to work independently; and strive to resolve challenging issues. This individual will be involved in the development, planning, and performing of audits across the legal and compliance divisions.
Such involvement would include:
- Preparation and execution of audit plans
- Supervision and leadership for the audit team
- Execution of the audit plan within department methodology, policies, and standards
- Execute and oversee all aspects of the audit including, but not limited to determination of scope, preparation of the audit planning memorandum, performance of test work, and preparation of written and oral presentations
- On-going communication with senior Legal and Compliance management to discuss the status of the audit plan, results of test work, and quarterly reporting
Experience required:
- Eight to fifteen years of audit or compliance management out of the banking industry including experience in auditing financial services regulatory activities. Need to have experience with the "Alphabet" banking regulations. Working knowledge of Anti Money Laundering requirements is a plus.
- Previous audit or supervisory experience with a financial services firm with a focus on regulatory compliance
- Strong technical understanding of the financial services regulatory environment
- Excellent written and verbal communication skills
- Proficient understanding of the internal audit processes a plus
- Prior experience communicating with regulators a plus
- The candidate should have experience in the field of audit, compliance, and/or risk management in the financial services industry
- The individual should be self-motivated, able to work independently, and strive to resolve challenging issues
- This individual will be involved in the development, planning and performing of audits across the legal and compliance bankingdivisions
- An Undergraduate Degree in Business including Economics, Finance, Accounting, etc.
- An M.B.A. or equivalent Post Graduate Degree is highly encouraged
- A C.P.A and/or Certified Regulatory Compliance Manger (CRCM) will be a plus